A fast-growing private equity firm in the New York Area is looking to hire a Compliance Associate to join their dynamic compliance team. The role will report the VP of Compliance and have responsibilities assisting with the management of the day to day operations of the compliance program.
Responsibilities:
- Manage the firm's overall compliance program including drafting and implementing policies and procedures as well as administering compliance training
- Handle regulatory filings including but not limited to Form ADV and Form PF
- Review and maintain the firm Code of Ethics policy including political contributions, personal trading activity, and outside business activity
- Conduct internal policy and procedure review and forensic testing
- Assist with the review and approval of marketing materials
Requirements:
- Bachelor's Degree
- 1-4 years of experience in the investment management industry
- Strong working knowledge of the Investment Advisors Act of 1940 and the Exchange Act of 1934
- Code of Ethics experience
- Open to admin/EA/paralegal background in the investment management industry